to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business in
and other financial instruments; (5) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as
instruments; (5) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. 2
(“MRF-eligible master fund”), respectively. In this regard, an MRF-eligible master fund is deemed to have complied with the rules specified by each regulator2. In order for business operators to be able
, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to follow the rules stipulated in this
with the rules specified in Clause 4, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to
derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from
order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause 13. In case the derivatives broker invested in securities or held